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Creating a United Front: Collaborating Effectively with Your Organization During and After Internal Investigations


Level: Intermediate
Runtime: 61 minutes
Recorded Date: November 19, 2024
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Agenda

  • Key threshold decisions regarding internal investigations
  • Conducting the internal investigation
  • Preserving privilege
  • Public relations considerations
  • Dealing with regulators and auditors
  • Concluding the investigation report and disclosure issues

For NY - Difficulty Level: Both newly admitted and experienced attorneys

Description

Navigating a government investigation is a critical test for your organization's legal and compliance program. This session will guide you through the essential steps to take when allegations surface, including making informed decisions about the investigation's direction, leadership, goals, and scope. We will cover best practices for determining whether to issue a report and how to prepare your company for potential scrutiny from government agencies. Participants will learn to effectively manage regulatory challenges, emphasizing the importance of disclosure and coordination with auditors, regulators, and other key stakeholders.

Discussion topics include:
  • How to identify the key decisions to be made when an investigation is initiated
  • Strategies for defining the roles and responsibilities of those directing and conducting the investigation
  • Frameworks of best practices to handle regulatory scrutiny effectively and guidance for establishing clear goals and scope for an investigation Determine when and how to issue a report based on the investigation's findings
  • Preparing the organization for government scrutiny and understanding the importance of coordinating with auditors, regulators, and other stakeholders during an investigation

Provided By

General Counsel Conference
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Panelists

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Joe Barry

General Counsel
Merz Aesthetics

As Merz Aesthetics North America General Counsel, Mr. Barry heads up the region’s legal and compliance team.

Joe is a native of New York City and began his legal career at the Shea & Gould law firm in Manhattan, where he worked on mergers and acquisitions, initial public offerings and general corporate work. After a six-year stint Joe went in-house and held positions of increased responsibility at Ogden Entertainment in New York City, Diageo in Norwalk CT and Medicis Pharmaceuticals in Scottsdale AZ before joining Merz in 2013. Joe has expertise in product launches, commercial agreements, mergers and acquisitions, human resources, intellectual property, regulatory, compliance, corporate governance, litigation and supply chain/manufacturing.

Joe received his Juris Doctor degree from the St. John’s University School of Law in Queens, New York, and a bachelors’ degrees in History from Fordham University in Bronx, New York.

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Avery Pollard

Counsel
Verizon

Avery Pollard joined Verizon in 2022 as compliance counsel. In her first role, she led internal investigations into sales practices, fraud, and other matters. In her current role, she investigates and responds to data security incidents and advises the business on compliance risks.

Prior to joining Verizon, Avery was an associate at Zuckerman Spaeder and Sullivan & Cromwell in D.C. where she represented clients in government and internal investigations, criminal prosecutions, and complex civil disputes. She previously clerked for The Honorable Amit P. Mehta, U.S. District Court for the District of Columbia, for the 2016-2017 term.

While in law school, Avery was a judicial intern for The Honorable Paul L. Friedman, U.S. District Court for the District of Columbia, and was a legal intern at the U.S. Department of Justice, Criminal Division, Appellate Section. Prior to law school, Avery worked as a freelance writer and as a journalist for two national news organizations.

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Michelle Warner

Counsel & Chief Ethics Officer
Delaware River and Bay Authority

Michelle Warner has over 25 years of experience in a variety of industries and roles, including serving as interim CEO of a small start-up, policy advisor for several New Jersey Cabinet Secretaries and as a litigator. She is currently Counsel and Chief Ethics Officer for the Delaware River and Bay Authority.

She is active on several non-profit boards and previously served as an elected member of the Medford Township, New Jersey Board of Education.

Michelle is also a Certified Executive Coach and the Founder of MW Coaching and Consulting, LLC which delivers bespoke programs to both businesses looking to improve team dynamics and individuals looking for professional growth.

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Shawn Naunton

Managing Partner
Zuckerman Spaeder LLP

Shawn P. Naunton is an experienced trial lawyer with a broad practice focused on complex civil and criminal litigation. Whether defending a client against securities fraud charges or conducting a sensitive internal investigation, Shawn is consistently selected as counsel for individuals and entities when the stakes are highest.

Recognized as one of the Trial Lawyers of the Year by the Public Justice Foundation, Shawn also serves as the managing partner of Zuckerman Spaeder’s New York office. Shawn represents clients in complex business disputes, securities litigation, investigations, and enforcement actions. He has extensive experience litigating cases in federal and state courts, and representing clients in investigations by the Department of Justice, the New York County District Attorney’s Office, the New York State Attorney General, the SEC, and FINRA.

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Eduardo Santiago Acevedo

Corporate Counsel
Prudential Financial. Inc.

Eduardo is a corporate counsel at Prudential Financial. He provides oversight and advice concerning significant regulatory matters for all lines of business and corporate center functions on state, federal and international issues. Prior to joining Prudential, Eduardo served as a Senior Counsel with the Securities and Exchange Commission’s Division of Enforcement in New York, where he was a member of the Asset Management Unit. Eduardo began his law career as a commercial litigator at a leading Puerto Rico law firm. In that capacity, he represented local, national, and multinational corporate clients during all stages of litigation, administrative proceedings, and arbitration matters.

Eduardo holds an LLM in International Business and Trade Law from Fordham University School of Law and earned his law degree from the University of Puerto Rico School of Law. He obtained a Bachelor of Science degree from Purdue University’s Krannert School of Management.


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